Supplementary Registration, 86656-86662 [2016-28701]

Agencies

• Library of Congress
• Copyright Office

[Federal Register Volume 81, Number 231 (Thursday, December 1, 2016)]
[Proposed Rules]
[Pages 86656-86662]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-28701]


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LIBRARY OF CONGRESS

 Copyright Office

37 CFR Parts 201, 202

[Docket No. 2016-9]


Supplementary Registration

AGENCY: U.S. Copyright Office, Library of Congress.

ACTION: Notice of proposed rulemaking.

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SUMMARY: The U.S. Copyright Office is proposing to amend the regulation 
governing supplementary registration to reflect certain technical 
upgrades that will soon be made to the electronic

[[Page 86657]]

registration system. In most cases applicants will be required to 
submit an online application in order to correct or amplify the 
information set forth in a basic registration. This will increase the 
efficiency of the supplementary registration process for both 
applicants and the Office alike. In addition, the Office is amending 
the regulation to codify and update certain practices that are set 
forth in the Compendium of U.S. Copyright Office Practices, Third 
Edition and to improve the readability of the regulation.

DATES: Comments on the proposed rule must be made in writing and must 
be received in the U.S. Copyright Office no later than January 3, 2017.

ADDRESSES: For reasons of government efficiency, the Copyright Office 
is using the regulations.gov system for the submission and posting of 
public comments in this proceeding. All comments are therefore to be 
submitted electronically through regulations.gov. Specific instructions 
for submitting comments are available on the Copyright Office Web site 
at https://copyright.gov/rulemaking/supplementary-registration/. If 
electronic submission of comments is not feasible due to lack of access 
to a computer and/or the Internet, please contact the Office using the 
contact information below for special instructions.

FOR FURTHER INFORMATION CONTACT: Robert J. Kasunic, Associate Register 
and Director of Registration Policy and Practice, by telephone at (202) 
707-8040; or Erik Bertin, Deputy Director of Registration Policy and 
Practice, by telephone at 202-707-8040.

SUPPLEMENTARY INFORMATION: 

I. Background

    Section 408(d) of the Copyright Act authorizes the Register of 
Copyrights (the ``Register'') to establish ``formal procedures for the 
filing of an application for supplementary registration.'' 17 U.S.C. 
408(d). A supplementary registration is a special type of registration 
that may be used ``to correct an error in a copyright registration or 
to amplify the information given in a registration.'' Id. Specifically, 
it identifies an error or omission in an existing registration 
(referred to herein as a ``basic registration'') and places the 
corrected information or additional information in the public record.
    When the U.S. Copyright Office (the ``Office'') issues a 
supplementary registration, it does not cancel or replace the basic 
registration or the registration number for that registration. 
Likewise, the Office does not change the information set forth in the 
basic registration or the public record for that registration. Instead, 
as specified by statute, the basic registration and the supplementary 
registration coexist with each other in the public record, and ``the 
information contained in a supplementary registration augments but does 
not supersede that contained in the earlier registration.'' Id.

II. The Proposed Rule

A. Application for Supplementary Registration

1. Online Registration
    The Office is proposing to amend the regulation that governs the 
procedure for seeking a supplementary registration (the ``Proposed 
Rule''). Under the Proposed Rule, in most cases, applicants will be 
required to file an online application in order to correct or amplify 
the information set forth in a basic registration.
    The Office has allowed and encouraged applicants to register their 
works through the electronic registration system since 2007. See 72 FR 
36883 (July 6, 2007). When the Office introduced this system, it could 
be used only to seek a basic registration. To seek a supplementary 
registration, applicants had to submit a paper application using Form 
CA. 37 CFR 201.5(c)(1), (c)(2). In February 2015 the Office completed a 
comprehensive analysis of its electronic registration system with input 
from technical experts and stakeholders. This analysis will support the 
Office's long-term goals of creating both a better interface and a 
better public record. See U.S. Copyright Office, Office of the Chief 
Information Officer, Report and Recommendations of the Technical 
Upgrades Special Project Team (Feb. 2015), available at https://copyright.gov/docs/technical_upgrades/usco-technicalupgrades.pdf; see 
also 78 FR 17722 (Mar. 22, 2013). In December 2015 the Register issued 
a strategic plan that sets forth the Office's performance objectives 
for the next five years. The plan provides a roadmap for re-envisioning 
almost all of the services that the Office provides, including how 
applicants register claims, submit deposits, record documents, share 
data, and access expert resources. With respect to information 
technology, the plan calls for ``a robust and flexible technology 
enterprise that is dedicated to the current and future needs of a 
modern copyright agency.'' U.S. Copyright Office, Strategic Plan 2016-
2020: Positioning the United States Copyright Office for the Future, at 
35 (Dec. 1, 2015), available at https://www.copyright.gov/reports/strategic-plan/sp2016-2020.html. At the direction of Congress,\1\ the 
Office has also developed a detailed IT plan, and obtained public 
comments on specific strategies, costs, and timelines for technology 
objectives. U.S. Copyright Office, Provisional Information Technology 
Modernization Plan and Cost Analysis (Feb. 29, 2016), available at 
https://copyright.gov/reports/itplan/.
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    \1\ H.R. Rep. No. 114-110, at 16-17 (2015).
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    In the meantime, the Office has made some enhancements to the 
current system that will improve the versatility of the supplementary 
registration process. Under the Proposed Rule, applicants will be 
required to use the online registration system to file a supplementary 
registration for any types of works that are capable of being 
registered through the electronic system. This online filing 
requirement will thus apply to supplementary registrations for literary 
works (e.g., fiction, nonfiction, poetry, etc.), single issues of a 
serial publication (e.g., periodicals, magazines, newsletters, 
journals, etc.), works of the visual arts (e.g., photographs, maps, 
technical drawings, etc.), works of the performing arts (e.g., musical 
works, dramatic works, choreographic works, pantomimes, motion pictures 
and other audiovisual works, etc.), and sound recordings. See 37 CFR 
202.3(b). The online filing requirement will also extend to 
supplementary registrations for collective works, works registered 
under the unit of publication option, and works registered as an 
unpublished collection. See 37 CFR 202.3(b)(4). It will also apply to 
supplementary registrations for groups of serials,\2\ newspapers, or 
newsletters,\3\ groups of published photographs,\4\ or groups of

[[Page 86658]]

updates and revisions to a photographic database.\5\ In the near 
future, the online filing requirement will apply to supplementary 
registrations for groups of unpublished photographs,\6\ and groups of 
contributions to periodicals.\7\ If the Office subsequently decides to 
move registrations for other classes of works into the electronic 
system, supplementary registrations for those works will also be 
subject to this same requirement. In short, use of the online 
supplementary registration application will be required for most works. 
Moreover, applicants will generally be required to use the online 
registration system to file a supplementary registration even if the 
work was originally registered using a paper application.\8\ 
Instructions for completing the online application will be provided in 
the electronic system and in Chapter 1800 of the Compendium of U.S. 
Copyright Office Practices, Third Edition (hereinafter 
``Compendium'').\9\
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    \2\ See 37 CFR 202.3(b)(6)(v).
    \3\ Although the current regulations state that an application 
for a group of newspaper or newsletter issues must be submitted with 
a paper application, the Office is able to process these types of 
claims through the electronic registration system, and has in fact 
been doing so since December 14, 2012. See 37 CFR 202.3(b)(7)(i)(B), 
(9)(viii). The Office intends to amend the regulations in a future 
rulemaking to reflect these recent upgrades.
    \4\ In 2012 the Office issued an interim regulation that 
established a pilot program for applicants that register large 
numbers of photographs using the group option for published 
photographs (referred to herein as ``GRPPH'') and the group option 
for photographic databases. 76 FR 4072, 4074, 4075 (Jan. 24, 2011). 
Applicants that participate in the pilot program may submit their 
photographs through the electronic system, provided that they obtain 
prior authorization from the Visual Arts Division and follow the 
instructions from that Division concerning the information that 
should be included in the application. 37 CFR 202.3(b)(10)(xi). 
While the pilot program was well-intentioned, it has been extremely 
burdensome for both applicants and the Office. Therefore, the Office 
is issuing a separate notice of proposed rulemaking (published 
elsewhere in this volume of the Federal Register, and referred to 
herein as the ``Photo Rulemaking'') that will modify the regulation 
that governs GRPPH. Among other changes, the rule proposed in the 
Photo Rulemaking will require applicants to submit an online 
application specifically designed for GRPPH claims, instead of 
submitting their photographs through the pilot program. (By 
contrast, the pilot program for photographic databases will remain 
in effect--at least for the time being.)
    \5\ Applicants may register a photographic database through the 
electronic system by participating in the pilot program mentioned in 
footnote 4. 76 FR at 4074, 4075; 37 CFR 202.3(b)(5)(ii)(A).
    \6\ The rule proposed in the Photo Rulemaking will establish a 
new group registration option for unpublished photographs (referred 
to herein as ``GRUPH''). In order to use this option, applicants 
will be required to submit an online application specifically 
designed for GRUPH claims, instead of submitting a paper 
application.
    \7\ The Office is issuing a separate notice of proposed 
rulemaking (published elsewhere in this volume of the Federal 
Register, and referred to herein as the ``GRCP Rulemaking'') on a 
proposed rule that will modify the group option for contributions to 
periodicals (``GRCP''). Among other changes, the rule proposed in 
the GRCP Rulemaking will require applicants to submit an online 
application specifically designed for GRCP claims, instead of 
submitting a paper application.
    \8\ As discussed above in footnote 4, the rule proposed in the 
Photo Rulemaking will modify the requirements for registering a 
group of published photographs. Among other things, applicants will 
be allowed to submit no more than 750 photographs with each 
application. The limit on the number of photographs, in turn, will 
affect the procedure for correcting or amplifying an existing 
registration for a group of published photographs. If the basic 
registration covers 750 photographs or less, the applicant will be 
able to correct or amplify the registration record with a single 
supplementary registration. By contrast, multiple supplementary 
registrations may be needed in cases where the basic registration 
had been issued before the issuance of a final rule in the Photo 
Rulemaking and where the basic registration covers more than 750 
photographs.
    \9\ Under the Proposed Rule, applicants will be required to 
obtain prior authorization and instructions from the Visual Arts 
Division if they intend to correct or amplify the information set 
forth in a basic registration for a photographic database. This is 
due to the fact that a supplementary registration for a photographic 
database will be processed under the pilot program mentioned in 
footnote 4. The Visual Arts Division will continue to monitor claims 
submitted under this program to ensure that applicants complete the 
online application in an appropriate manner.
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    Once the Proposed Rule goes into effect, applicants will not be 
allowed to submit a paper application on Form CA to correct or amplify 
the basic registration for any types of works that are capable of being 
registered through the electronic system. If the Office receives such a 
paper application, it will ask the applicant to resubmit the claim 
using the online application.
    To correct or amplify the registration record for works that cannot 
be registered through the electronic system, applicants will be 
required to submit a paper application using Form CA.\10\ This includes 
group registrations issued under 37 CFR 202.3(b)(5) for a database that 
does not consist predominantly of photographs,\11\ and GATT 
registrations issued under 37 CFR 202.12 for a foreign work restored to 
copyright protection under the Uruguay Round Agreements Act.\12\ It 
also includes a renewal registration for a work registered or first 
published before January 1, 1978.\13\ While instructions for completing 
Form CA are provided with Form CA and in section 1802.8 of the 
Compendium, the specific requirements for the paper application will no 
longer be listed in the regulation itself.
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    \10\ A supplementary registration cannot be used to correct or 
amplify the registration record for a vessel design or a mask work. 
The Office has no authority and no procedure for correcting 
substantive errors in these types of registrations. See 17 U.S.C. 
1319; see also 71 FR 46402 (Aug. 14, 2006). However, if the 
applicant made a clerical or typographical error in an application 
for a vessel design, the owner of the registered design or its duly 
authorized agent may be able to correct the error by submitting an 
application for a certificate of correction using Form DC. See 37 
CFR 212.8(a)(3), (c)(2).
    \11\ Currently, applicants must submit these types of claims 
using a paper application ``that best reflects the subject matter of 
the material in the database.'' 37 CFR 202.3(b)(5)(ii)(A).
    \12\ Currently, applicants must submit these types of claims 
using a paper application submitted on Form GATT. 37 CFR 
202.12(c)(2).
    \13\ Currently, applicants must submit these types of claims 
using a paper application submitted on Form RE. 37 CFR 202.17(g)(1).
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2. Policy Considerations Supporting Online-Only Registration
    A substantial majority of the U.S. population has access to the 
internet,\14\ and the Office expects that most copyright owners will be 
able to use the electronic registration system.\15\ However, the Office 
recognizes that millions of Americans do not have broadband service, 
and that the Proposed Rule may impose a burden on copyright owners who 
fall within this segment of the population.\16\ Nevertheless, the 
Office believes that the benefits of phasing-out the paper application 
and replacing it with an online application outweigh the potential 
burden on copyright owners who do not have direct access to the 
internet.
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    \14\ The Pew Research Center found that 84% of adults use the 
internet, including 85% of the people in urban and suburban 
communities and 78% of the people in rural communities. Pew Research 
Center, Americans' Internet Access: 2000-2015 (June 26, 2015), 
available at https://www.pewinternet.org/2015/06/26/americans-internet-access-2000-2015/c.
    \15\ Approximately 94% of the claims filed in fiscal year 2015 
were submitted through the electronic system, while 6% of the claims 
were submitted with a paper application.
    \16\ The Federal Communications Commission (``FCC'') reported 
that 17% of the population does not have access to a broadband 
service with connection speeds of twenty-five megabits per second 
(``mbps'') for downloads and three mbps for uploads. This figure 
includes 8% of the people who live in urban areas, 53% of the people 
in rural areas, and 63% of the people in U.S. territories and Tribal 
lands. Federal Communications Commission, 2015 Broadband Progress 
Report at 4 (Jan. 29, 2015), available at https://www.fcc.gov/reports/2015-broadband-progress-report.
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    Paper applications are extremely burdensome for both applicants and 
the Office. Describing an error or omission in a basic registration can 
be tedious and time consuming, especially when the applicant needs to 
make a significant number of changes to the registration record. The 
Office routinely receives applications that are hundreds of pages long, 
such as when a stock photography company wants to add thousands of 
titles to the record for a photographic database. Examining these 
applications imposes tremendous burdens on the Office, because each 
correction or amplification must be copied from Form CA and entered 
into the record by hand. In some cases, registration specialists have 
spent several days on a single application. This increasing demand on 
the Office's limited resources causes delays in issuing supplementary 
registrations, and it prevents specialists from examining other types 
of claims thereby increasing the overall backlog within the Office.
    If a copyright owner does not have broadband at home, at the home 
of a relative, friend, or neighbor, or at his place of employment, 
there are other options for submitting an application for supplementary 
registration. If the copyright owner has a tablet or laptop, he could 
complete and submit the online application at a coffee shop, a

[[Page 86659]]

bookstore, or any other place where wi-fi or cellular service is 
available.\17\ He also could log onto the electronic registration 
system by going to a public library that provides computers with 
internet access.
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    \17\ When filing an application for a supplementary registration 
there is no need to upload a copy of the work that is covered by the 
basic registration. Thus, applicants will be able to submit these 
types of claims with a tablet or other wi-fi enabled device. In some 
cases, the registration specialist may need to compare the 
information provided in the application for supplementary 
registration with the copy of the work that was submitted with the 
application for the basic registration. For instance, this may be 
necessary if the supplementary registration changes the publication 
status of the work or adds additional authors to the registration 
record. If the Office does not have a copy of the work in its 
possession, the registration specialist may ask the applicant to 
submit a replacement copy. See Compendium section 1802.9(C). But in 
all cases, the replacement copy could be sent by first class mail, 
courier, or hand delivery; the copy does not need to be uploaded to 
the electronic system (though this would be an option if the 
applicant has broadband service).
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    In the alternative, the copyright owner could hire an attorney to 
submit the application on his behalf, either by paying for the 
attorney's services or by obtaining pro bono representation.\18\ The 
Office also notes that a number of companies will prepare and submit an 
application for a fee. These companies typically provide this service 
for copyright owners seeking a basic registration, but they could 
conceivably expand their offering to include supplementary 
registrations.
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    \18\ The Office does not require applications to be prepared or 
submitted by an attorney. In certain special cases the Office may 
suggest that the copyright owner consider seeking legal advice, but 
the Office does not furnish the names of copyright attorneys, 
publishers, agents, or other similar information. See 37 CFR 
201.2(a)(2).
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    For the foregoing reasons, the Office believes that requiring 
applicants to use the online application is a reasonable trade-off for 
improving the overall efficiency of the supplementary registration 
process. The Office invites comment on this proposal, including whether 
the Office should eliminate the paper application for seeking a 
supplementary registration, phase out this option after a specified 
period of time, or continue to offer this option for applicants who 
prefer to use the paper-based system.

B. Fees

    Under the Proposed Rule, the applicant will be required to pay the 
same filing fee, regardless of whether the application is submitted 
through the electronic registration system or on Form CA. In addition, 
the applicant may be required to pay a fee to locate and obtain a copy 
of the basic registration that is referenced in the application. Each 
of these fees is discussed below.
1. Filing Fee
    In 2012 the Office conducted a study pursuant to section 708 of the 
Copyright Act, which authorizes the Register to establish, adjust, and 
recover fees for certain services that the Office provides to the 
public. After reviewing its costs, the Office decided to increase the 
filing fee for a supplementary registration from $100 to $130.\19\ The 
Office explained that paper applications ``are considerably less 
efficient than electronic registration'' and that the prior fee did not 
offset a sufficient percentage of the costs associated with these types 
of claims. U.S. Copyright Office, Proposed Schedule and Analysis of 
Copyright Fees To Go Into Effect On Or About April 1, 2014, at 18 (Nov. 
14, 2013), available at https://www.copyright.gov/docs/newfees/USCOFeeStudy-Nov13.pdf. For example, in Fiscal Year 2011 the filing fee 
for a supplementary application was $100, but the actual cost of 
processing these claims was $184 per application. Id. Appendix B.
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    \19\ This increase went into effect on May 1, 2014.
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    Section 708(b) authorizes the Register to adjust the fees that the 
Office charges for certain services (including the fee for seeking a 
supplementary registration), but before doing so the Register must 
conduct a study of the costs incurred by the Office for registering 
claims, recording documents, and providing other services. In 
conducting this study, the Register must consider the timing of any fee 
adjustments and the Office's authority to use the fees consistent with 
its budget. 17 U.S.C. 708(b)(1). Section 708(b) provides that the 
Register may adjust these fees no ``more than necessary to cover the 
reasonable costs incurred by the Copyright Office for . . . [such 
services], plus a reasonable inflation adjustment to account for any 
estimated increase in costs.'' 17 U.S.C. 708(b)(2). It also provides 
that the Office must submit a proposed fee schedule to Congress and 
that the Office may implement the schedule 120 days thereafter (unless 
Congress enacts a law stating that it does not approve the schedule). 
17 U.S.C. 708(b)(5).
    Once the Proposed Rule has been implemented, the Office will 
monitor the cost of processing supplementary claims to determine if 
future fee adjustments may be warranted or if the Office should charge 
a different fee for claims submitted through the electronic 
registration system and claims submitted on Form CA. The Office will 
use this information in conducting its next fee study.
2. Fee for Additional Certificate of Registration
    When the Office receives an application for a supplementary 
registration, the registration specialist will compare the information 
set forth in the application with the information set forth in the 
basic registration. If the Office has made a digital copy of the 
certificate of registration, the specialist may be able to conduct his 
or her review without obtaining a physical copy of the certificate.\20\ 
If the certificate has not been digitized, the specialist will ask the 
applicant to submit a copy of the certificate. If the applicant is 
unable to do so, the Office will charge an additional fee to make a 
copy of the basic registration in order to conduct the requisite 
review.\21\
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    \20\ The Office has digitized the certificates of registration 
for claims registered between 1994 and the present. Certificates 
issued before that year may be stored in electronic form, on 
microfilm, in bound volumes, or in other physical formats.
    \21\ The current fee for obtaining an additional copy of a 
certificate of registration is $40 (https://copyright.gov/docs/fees.html).
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C. Examination Practices

    The Proposed Rule also updates examination practices in several 
areas, including, among other things, to reflect changes to the 
Compendium of Copyright Office Practices, to update rules regarding 
when supplementary registration will be declined, and to update 
practices regarding cross-references in the Office's public record.
    Changes to Reflect Compendium. The Compendium is the manual of the 
Register of Copyrights setting forth and explaining key administrative 
duties of the Copyright Office under title 17 of the United States 
Code. It serves as both a technical manual for the Office's staff, as 
well as a guidebook for authors, copyright licensees, practitioners, 
scholars, the courts, and members of the general public. In 2014 the 
Office released a comprehensive revision of the Compendium that makes 
the Office's practices more accessible and transparent to the public, 
and sets the stage for a number of long-term improvements in 
registration and recordation policy. See 79 FR 78911 (Dec. 31, 2014).
    The Proposed Rule updates a number of practices that are reflected 
in the Compendium.\22\ It clarifies that the Office may issue a 
supplementary registration to correct an error in a basic registration 
issued on or after January 1, 1978, or a renewal registration for a 
work that was registered or first

[[Page 86660]]

published on or before December 31, 1977. See Compendium section 
1802.3.
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    \22\ Corresponding changes will be made to the Compendium when 
the Proposed Rule goes into effect.
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    Updating Rules for When Supplementary Registration Will Be Denied. 
The Proposed Rule also clarifies that the Office may decline to issue a 
supplementary registration for a basic registration that covered the 
first twenty-eight years of the copyright term, because any 
registration issued before January 1, 1978 has expired by now.\23\ See 
id. section 1802.4. Allowing interested parties to correct or amplify 
the information in a registration after the initial term expired 
creates a potential for error, mistake, or even fraud. This could have 
significant consequences in a legal dispute, given that a certificate 
of registration may create an evidentiary presumption concerning the 
facts stated in the certificate.\24\ 17 U.S.C. 410(c). Therefore, the 
Proposed Rule explains that the Office may issue a supplementary 
registration for a basic registration that covered the first twenty-
eight years of the copyright term only in exceptional circumstances, if 
the proposed correction or amplification is supported by clear, 
convincing, and objective documentation. In this respect, the Proposed 
Rule tracks a similar provision in the current regulation that 
specifies when the Office may issue a supplementary registration for a 
basic renewal registration.\25\
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    \23\ Registrations issued under the 1909 Act expired at the end 
of the first twenty-eight years of the copyright term. If the 
copyright was renewed, the renewal registration expired at the end 
of the renewal term.
    \24\ For similar reasons, the Proposed Rule clarifies that the 
Copyright Office will not issue a supplementary registration for a 
registration that has been cancelled. Cancellation is an 
administrative procedure for invalidating a registration that has 
been issued by the Office. The Office has the authority to cancel a 
registration if ``the material deposited does not constitute 
copyrightable subject matter'' or if ``the claim is invalid for any 
other reason.'' 17 U.S.C. 410(b). It also has the authority to 
cancel a registration if the registration was made in error or if it 
was issued in the wrong class or series. See generally 37 CFR 201.7.
    \25\ 37 CFR 201.5(b)(2)(iv). In addition, the Proposed Rule 
removes a sentence from this provision which states that the Office 
may correct an error in a renewal registration if the Office 
received an application for supplementary registration in the last 
year of the first twenty-eight years of the copyright term. This 
sentence is no longer needed now that the deadline for submitting 
such claims has passed.
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    Cross-references to Basic Registration. Under the current 
regulations, when the Office issues a supplementary registration, it 
will cross-reference the records for the supplementary registration and 
the basic registration only if the application for supplementary 
registration was submitted by or on behalf of the copyright claimant 
named in the basic registration.\26\ See 37 CFR 201.5(b)(1) n.1. If the 
application was submitted by or on behalf of any other party, the 
records will not be cross-referenced with each other. See Compendium 
section 1802.1.
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    \26\ Specifically, the Office will place a note in the record 
for the basic registration that identifies the registration number 
and the effective date of registration for the supplementary 
registration, and it will place a corresponding note in the record 
for the supplementary registration that identifies the registration 
number and the year of registration for the basic registration. See 
Compendium section 1802.1.
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    After further consideration, the Office has concluded that these 
cross-references should be included regardless of who has submitted the 
application for supplementary registration. This amendment will improve 
the accuracy and usefulness of the public record by making it easier to 
find supplementary registrations that may contain additional 
information pertaining to the basic registration (regardless of who 
submitted the application for supplementary registration). If an 
interested party wishes to identify the person who made the correction 
or amplification, that information can be obtained by reviewing the 
records for the supplementary registration.\27\
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    \27\ The Proposed Rule retains the requirement that an 
application for a supplementary registration must be submitted by an 
author of the work, a claimant of the work, an owner of any of the 
exclusive rights in the work, or a duly authorized agent of any of 
the foregoing parties. 37 CFR 201.5(b)(1).
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    Clarifying Relationship Between Basic and Supplementary 
Registration. An additional change is being made to clarify the nature 
of a supplementary registration. As a general rule, the Office will 
issue only one registration for each work--meaning that the Office will 
issue one basic registration for a particular work, but will not issue 
additional basic registrations once the first basic registration has 
been made. See Compendium section 510. There are several exceptions to 
this rule, which are set forth in 37 CFR 202.3(b)(11)(i)-(iv).
    One of the exceptions relates to supplementary registrations, 
stating that ``[s]upplementary registrations may be made . . . to 
correct or amplify the information in a registration made under this 
section.'' \28\ This erroneously suggests, however, that supplementary 
registrations are treated as basic registrations. The Proposed Rule 
will accordingly remove this exception; because a supplementary 
registration is not considered a basic registration, there is no limit 
on the number of supplementary registrations that may be issued for a 
particular basic registration, and in any event, the Office does not 
view supplementary registration as an exception to the general rule 
against issuing one basic registration per work.
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    \28\ 37 CFR 202.3(b)(11)(iv).
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    Certification that Applicant Has Reviewed Basic Registration. It 
has come to the Office's attention that applicants often submit an 
application for supplementary registration without reviewing the 
information that is set forth in the basic registration. In some cases, 
applicants review the records that are posted in the Office's online 
database, but those records do not contain all the information that is 
set forth in the certificate of registration for a particular work. 
This may create a discrepancy between the registration record and the 
changes proposed in the application for supplementary registration. 
This complicates the examination of the claim, which, in turn, delays 
the issuance of the supplementary registration.
    The Proposed Rule addresses this issue by requiring applicants to 
sign a certification stating that they reviewed the certificate of 
registration for the basic registration before submitting the 
application for supplementary registration.\29\ If the applicant does 
not have a copy of the certificate, he or she may obtain a copy from 
the Record Research and Certification Section by following the 
procedure set forth in section 2408 of the Compendium. If it appears 
that the applicant did not review the basic registration before seeking 
a supplementary registration, the Office may ask the applicant to 
resubmit the application or may refuse registration.
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    \29\ If the applicant fails to sign the certification in the 
online application, the application will not be accepted by the 
electronic registration system. If the applicant fails to sign the 
certification on Form CA, the registration specialist will 
communicate with the applicant.
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    Referral Procedure for Office Error. Finally, the Proposed Rule 
clarifies that if an error in a basic registration was caused by the 
Office's own action, it will correct that error on its own initiative 
through an internal procedure known as a ``referral.'' In such cases, 
there is no need to seek a supplementary registration, and there is no 
fee for referral. See Compendium section 1804. It also clarifies that 
the referral procedure does not apply if the error was caused by the 
applicant's action--even if the examiner should have recognized that 
error when he or she examined the claim. In such cases, the Office will 
correct the error only if the applicant submits an application for

[[Page 86661]]

a supplementary registration together with the appropriate filing fee.

D. Technical Amendments

    The Proposed Rule will improve the readability of the regulation by 
reorganizing or revising awkward provisions, and by adopting the 
appropriate format for providing cross-references within the Code of 
Federal Regulations (as recommended by the Federal Register Document 
Drafting Handbook).\30\ In all cases, these technical amendments are 
intended to clarify the existing regulation, but they do not represent 
a substantive change in policy.
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    \30\ The regulation repeatedly states that title 17 of the 
United States Code was ``amended by Pub. L. 94-553.'' The Office 
recently issued a notice of proposed rulemaking that would remove 
this phrase. See 81 FR 67940, 67944 (Oct. 3, 2016).
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III. Conclusion

    The Proposed Rule will increase the efficiency of the supplementary 
registration process and create a more robust record of the claim. The 
Office invites public comment on these proposed changes.

List of Subjects in 37 CFR Part 201

    Copyright, General provisions.

Proposed Regulations

    For the reasons set forth in the preamble, the Copyright Office 
proposes amending 37 CFR parts 201 and 202 as follows:

PART 201--GENERAL PROVISIONS

0
1. Revise the authority citation for part 201 to read as follows:

    Authority:  17 U.S.C. 702.

0
2. Amend Sec.  201.3 by revising paragraph (c)(9) to read as follows:


Sec.  201.3   Fees for registration, recordation, and related services, 
special services, and services performed by the Licensing Division.

* * * * *
    (c) * * *

------------------------------------------------------------------------
 
------------------------------------------------------------------------
(9) Registration of a correction or amplification to a claim:
(i) Supplementary registration: electronic filing or paper filing    130
(ii) Correction of a design registration (Form DC)...............    100
------------------------------------------------------------------------

* * * * *
0
3. Revise Sec.  201.5 to read as follows:


Sec.  201.5   Supplementary registration.

    (a) General. This section prescribes conditions relating to the 
filing of an application for supplementary registration under section 
408(d) of title 17 of the United States Code to correct an error in a 
copyright registration or to amplify the information given in a 
registration. No correction or amplification of the information in a 
basic registration will be made except pursuant to the provisions of 
this section. As an exception, where it is discovered that a basic 
registration contains an error caused by the Copyright Office's own 
action, the Office will take appropriate measures to rectify its 
mistake.
    (b) Definitions. (1) A basic registration means any of the 
following:
    (i) A copyright registration made under sections 408, 409, and 410 
of title 17 of the United States Code;
    (ii) A renewal registration made under section 304 of title 17 of 
the United States Code; or
    (iii) A copyright registration or a renewal registration made under 
title 17 of the United States Code as it existed before January 1, 
1978.
    (2) A supplementary registration means a registration issued under 
section 408(d) of title 17 of the United States Code and the provisions 
of this section.
    (c) Persons entitled to file an application for supplementary 
registration. Supplementary registration can be made only if a basic 
copyright registration for the same work has already been completed. 
After a basic registration has been completed, any author or other 
copyright claimant of the work, or the owner of any exclusive right in 
the work, or the duly authorized agent of any such author, other 
claimant, or owner, who wishes to correct or amplify the information 
given in the basic registration for the work may file an application 
for supplementary registration.
    (d) Basis for issuing a supplementary registration. (1) 
Supplementary registration may be made either to correct or to amplify 
the information in a basic registration.
    (2) A correction is appropriate if information in the basic 
registration was incorrect at the time that basic registration was 
made.
    (3) An amplification is appropriate:
    (i) To supplement or clarify the information that was required by 
the application for the basic registration and should have been 
provided, such as the identity of a co-author or co-claimant, but was 
omitted at the time the basic registration was made; or
    (ii) To reflect changes in facts, other than those relating to 
transfer, license, or ownership of rights in the work, that occurred 
since the basic registration was made.
    (4) Supplementary registration is not appropriate:
    (i) To reflect a change in ownership that occurred on or after the 
effective date of the basic registration or to reflect the division, 
allocation, licensing or transfer of rights in a work;
    (ii) To correct errors in statements or notices on the copies of 
phonorecords of a work, or to reflect changes in the content of a work; 
or
    (iii) To correct or amplify the information set forth in a basic 
registration that has been cancelled under Sec.  201.7.
    (5) If an error or omission in a basic renewal registration is 
extremely minor, and does not involve the identity of the renewal 
claimant or the legal basis of the claim, supplementary registration 
may be made at any time. In an exceptional case, however, supplementary 
registration may be made to correct the name of the renewal claimant 
and the legal basis of the claim if clear, convincing, and objective 
documentation is submitted to the Copyright Office which proves that an 
inadvertent error was made in failing to designate the correct living 
statutory renewal claimant in the basic renewal registration.
    (6) In general, the Copyright Office will not issue a supplementary 
registration for a basic registration made under title 17 of the United 
States Code as it existed before January 1, 1978. In an exceptional 
case, the Copyright Office may issue a supplementary registration for 
such a registration, if the correction or amplification is supported by 
clear, convincing, and objective documentation.
    (e) Application for supplementary registration. (1) To seek a 
supplementary registration for a work registered in Class TX, PA, VA, 
SR, or SE, an unpublished collection or a unit of publication 
registered under Sec.  202.3(b)(4)(i) of this chapter, or a group of 
related works registered under Sec.  202.3(b)(6) through (10) or Sec.  
202.4 of this chapter, an applicant must complete and submit the online 
application designated for supplementary registration.
    (2) To seek a supplementary registration for a database that 
consists predominantly of photographs registered under Sec.  
202.3(b)(5) of this chapter, an applicant must complete and submit the 
online application designated for supplementary registration after 
consultation with and under the direction of the Visual Arts Division.
    (3) To seek a supplementary registration for a restored work 
registered under Sec.  202.12 of this

[[Page 86662]]

chapter, a database that does not consist predominantly of photographs 
registered under Sec.  202.3(b)(5) of this chapter, or a renewal 
registration, an applicant must complete and submit a paper application 
using Form CA.
    (4) Before submitting the application, the applicant must sign a 
certification stating that the applicant reviewed a copy of the 
certificate of registration for the basic registration that will be 
corrected or amplified by the supplementary registration. To obtain a 
copy of the certificate, the applicant may submit a written request to 
the Records Research and Certification Section using the procedure set 
forth in Chapter 2400 of the Compendium of U.S. Copyright Office 
Practices, Third Edition.
    (5) The appropriate filing fee, as required by Sec.  201.3(c), must 
be included with the application or charged to an active deposit 
account. At the Office's discretion, the applicant may be required to 
pay an additional fee to make a copy of the certificate of registration 
for the basic registration that will be corrected or amplified by the 
supplementary registration.
    (6) Copies, phonorecords, or supporting documents cannot be made 
part of the record for a supplementary registration and should not be 
submitted with the application.
    (f) Effect of supplementary registration. (1) When the Copyright 
Office completes a supplementary registration, it will issue a 
certificate of supplementary registration bearing a new registration 
number in the appropriate class. The Office will cross-reference the 
records for the basic registration and the supplementary registration 
by placing a note in each record that identifies the registration 
number and effective date of registration for the related registration.
    (2) As provided in section 408(d) of title 17 of the United States 
Code, the information contained in a supplementary registration 
augments but does not supersede that contained in the basic 
registration. The basic registration will not be expunged or cancelled.

PART 202--PREREGISTRATION AND REGISTRATION OF CLAIMS TO COPYRIGHT

0
4. The authority citation for part 202 continues to read as follows:

    Authority:  17 U.S.C. 408(f), 702.


Sec.  202.3   Registration of copyright.

0
5. Amend Sec.  202.3 as follows:
0
a. In paragraph (b)(11)(iii), remove the phrase ``by that applicant; 
and'' and add in its place ``by that applicant.''
0
b. Remove paragraph (b)(11)(iv).

    Dated: November 22, 2016.
Sarang V. Damle,
General Counsel and Associate Register of Copyrights.
[FR Doc. 2016-28701 Filed 11-30-16; 8:45 am]
 BILLING CODE 1410-30-P